Broker Dealer Ops Analyst 3

Role Overview

• Collateral management for TBA trading
• Support AOT processing
• Support Municipal New Issue operations
• Support Equity ATM/FATM and Corporate Buyback activity
• Regulatory reporting for TRACE, MSRB, and CAT
• Perform verbal verification of instructions and process Fedwire requests
• Prepare procedures, job aids, and ad hoc reports requested within business line
• Work with audit or risk colleagues to provide information and test internal controls
• Assist in the training of new colleagues on any/all functions; performs quality checks on completed work
• Performs other duties as assigned

Requirements

• Bachelor’s degree
• 3 or more years of brokerage operations or comparable experience
• Must be able to obtain FINRA SIE and Series 99 within 12 months of hire
• An additional 5 years’ experience in product area may be considered in lieu of bachelor’s degree

Benefits

• health insurance coverage
• wellness program
• life and disability insurance
• retirement savings plan
• paid leave programs
• paid holidays
• paid time off (PTO)